Regulatory Alerts2022-10-21
Added · Updated
Frequently Asked Questions on Investor Protection Measures in respect of Sale of Investment Products
The Hong Kong Monetary Authority issued this circular to provide registered institutions with further guidance on implementing regulatory requirements for selling investment products. The document clarifies that institutions may consider product liquidity when assessing suitability against a customer's investment horizon and may evaluate specific investment account objectives during concentration risk assessments. These measures aim to enhance customer experience while ensuring adequate investor protection.
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